James E. Dickenson
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
James Edward Dickenson was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1976. James had worked at 7 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 8, 1989 - June 15, 1992
SOUTHSTATE|DUNCANWILLIAMS SECURITIES CORP.
June 12, 1986 - November 15, 1989
TOWNES & CO., INC.
March 20, 1986 - June 5, 1986
SOUTHERN SECURITIES INVESTMENT BANKERS, INC.
December 21, 1982 - March 12, 1986
TOWNES & CO., INC.
April 3, 1981 - November 15, 1982
SWINK & COMPANY, INC.
August 31, 1979 - May 8, 1980
SOUTHSTATE|DUNCANWILLIAMS SECURITIES CORP.
May 10, 1978 - July 25, 1979
MORGAN STANLEY DW INC.
December 23, 1977 - December 27, 1983
PARK, RYAN OF TENNESSEE, INC.
May 4, 1976 - January 21, 1978
WILSON WHITE, BELF, LAKE, ROCHLIN & CO.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
SOUTHSTATE|DUNCANWILLIAMS SECURITIES CORP.
CRD#: 6950 / SEC#: 801-68820, 8-18971
Contact information
FINRA licenses (49 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SOUTHSTATE BANK, NATIONAL ASSOCIATION | OWNER | |
| BONONNO, JOSEPH KEMP | CHIEF FINANCIAL OFFICER | 7437632 |
| CHERRY, JAMES CROWELL | CHIEF COMPLIANCE OFFICER | 2870353 |
| HODGES, STUART LEE | SVP, PRESIDENT | 7370566 |
| HOWARD, HEATHER DIANE | CORPORATE SECRETARY/COMPLIANCE OFFICER | 4349745 |
| TUCKER, KIMBERLY SHAY | OPERATIONS MANAGER - PRINCIPAL OPERATIONS OFFICER | 7370391 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
